Enforcement Matter No.
Title
Name
Date
Acceptance of Letter of Acceptance, Waiver, and Consent (AWC) No. 20200667547-02
Wall Street Access
2025-01-16
Acceptance of Letter of Acceptance, Waiver, and Consent (AWC) No. 20200663865-04
Jefferies LLC
2024-12-27
Acceptance of Letter of Acceptance, Waiver, and Consent (AWC) No. 20170550870-01
Merrill Lynch, Pierce, Fenner & Smith, Incorporated and BofA Securities, Inc.
2024-08-28
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20200671223-13
Jeffrey S. Tabak
2024-08-06
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20200679577-02
J.P. Morgan Securities LLC
2024-07-30
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20190634995-06
Goldman Sachs & Co. LLC
2024-02-06
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20210693220-02
Electronic Transaction Clearing, Inc.
2023-10-20
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20170556575-06
Electronic Transaction Clearing, Inc.
2023-09-08
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20200654658-11
Instinet, LLC
2023-07-21
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20200667225-02
RBC Capital Markets, LLC
2023-06-12
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20180591465-12
Goldman Sachs & Co. LLC
2023-04-04
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20170544910-06
Wedbush Securities Inc.
2023-01-18
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20190634320-04
HSBC Securities (USA) Inc.
2022-06-09
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20190610675-02
Electronic Transaction Clearing, Inc.
2022-05-20
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20140399529-05
E*TRADE Securities LLC
2022-01-10
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20170545881-05
Jefferies LLC
2021-12-30
Notice of Acceptance of Letter of Acceptance, Waiver, and Consent No. 20150440782-04
CODA Markets, Inc. (f/k/a PDQ ATS, Inc.)
2021-07-28
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140436275-02
SpeedRoute LLC
2021-05-07
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170540518-01
Seaport Global Securities LLC
2020-05-12
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20170562107-01
ITG, Inc. n/k/a Virtu ITG, LLC
2020-02-03
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No. 20140430991-04
Morgan Stanley & Co. LLC
2018-10-18
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20150452814-05
J.P. Morgan Securities LLC
2018-05-01
Notice of Acceptance of Letter of Acceptance, Waiver and Consent No.20130368360-16
Instinet, LLC
2018-04-11